Stinson Leonard Street Dodd Frank

MAKING SENSE OF DODD-FRANK

The Dodd-Frank Act has broad and deep implications that will touch every corner of financial services and multiple other industries. This site, developed and maintained by attorneys at Stinson Leonard Street, is dedicated to making sense of this complex legislation and helping businesses understand how it will affect them specifically. Our Bloggers »

Dodd-Frank Public Companies and Securities

SEC Grants No-Action Letter Finding Certain Tokens Are Not Securities and Publishes Framework on Investment Contract Analysis

Blockchain Technology, Public Companies and Securities Wow, it finally happened. The SEC granted long awaited guidance on when tokens are not securities in the form of a no-action letter.  The no-action letter finds the specific tokens at issue were not securities because: TKJ will not use any funds from Token sales to develop the TKJ Platform, Network, or App, and each […] Read more →

by   |   April 3, 2019

Quick Reference for FAST Act Changes to Form 10-K, 10-Q, 8-K and Proxy Statements

Public Companies and Securities The Fixing America’s Surface Transportation Act, or FAST Act, required the SEC to consider ways to streamline SEC regulations. Accordingly, the SEC adopted final amendments to... Read more →

by , and   |   April 2, 2019

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SEC Chair Discusses Human Capital Disclosure

Executive Compensation, Public Companies and Securities SEC Chairman Jay Clayton gave his views on appropriate disclosures related to human capital in opening remarks before a meeting of the SEC Investor Advisory Committee. Chairman... Read more →

by   |   March 28, 2019

SCOTUS Finds Investment Banker Liable for Cutting and Pasting Fraudulent Statement

Litigation, Public Companies and Securities The U.S. Supreme Court considered the extent of liability under Rule 10b-5 and other rules of the Securities and Exchange Commission and related statutes in Lorenzo v. Securities... Read more →

by , and   |   March 28, 2019